William Hobbs
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Hobbs JR., who also goes by Bill Hobbs, Billy Hobbs, William James Hobbs Jr, William James Hobbs, William Hobbs, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2000. William had worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 6, Series 7A and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2022 - April 5, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
December 8, 2021 - April 1, 2022
FIDELITY BROKERAGE SERVICES LLC
April 21, 2021 - August 17, 2021
W&S BROKERAGE SERVICES, INC.
October 22, 2010 - July 24, 2012
MSI FINANCIAL SERVICES, INC.
January 17, 2007 - August 2, 2007
MAVEN SECURITIES, INC.
April 19, 2005 - January 3, 2007
EMAC SECURITIES CORPORATION
October 1, 2000 - April 30, 2004
JOHN J DALESSANDRO LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 12/21/2021
General Securities Representative ExaminationSeries 6TO
Date: 4/21/2021
Investment Company Products/Variable Contracts Representative ExaminationSeries 7A
Date: 4/25/2007
Floor Broker Representative ExamSeries 25
Date: 3/14/2000
NYSE Trading Assistant ExaminationCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
